Client information is for and are based on percentage of assets under management. Client types are by firm, and represent a percentage of assets under management. For additional information on Karen Fields's client base, please contact the advisor.
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When financial advisors have events in their practice that could influence their ability to advise clients, they’re required to disclose those events to regulators. Such disclosure event filings can include certain criminal and civil matters, regulatory actions against them, customer complaints or instances of arbitration or termination of employment. The existence of such filings may not result in censure or penalty for an advisor and customer complaints against advisors may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor. For more detailed information on Karen Fields’s conduct, please visit Finra’s , the SEC’s , or your state’s regulatory agencies.